Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Is Investor Confusion Really Harmless?
By Bob ClarkAn SEC panel raises the issue of harm caused by investor confusion over the difference between a fiduciary and a suitability standard.
November 15, 2013
Baird Adds to Training, Women’s ProgramsThe broker-dealer's advisor force is less than 15% women; it wants to raise that number via special events, recruiting and other steps.
November 15, 2013
Survey flags high percentage of 'break-away advisors'Earning potential is just one of the factors motivating advisors to move on.
November 14, 2013
SEC Names Goodman National Associate Director of BD ExamsThe SEC has named Kevin Goodman national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations.
November 13, 2013
A Commission-Only Crackdown? Really?CFP Board is right to restrict the affiliation of fee-only advisors with BDs and right to require brokers to describe themselves as fee and commission.
November 12, 2013
United Planners on Its Tech: The Glue That Holds It All TogetherOur master philosophy is enter once, use many, Sheila Cuffari-Agasi says when describing the technology employed at United Planners Financial Services.
November 12, 2013
FSI Adds 250 New Members Through Girard SecuritiesThe advocacy organization says its membership renewal rate remains high.
November 11, 2013
Employee Advisors and Their Implications for the FutureThe ongoing trend toward employee advisors seems to be a tremendous positive for the planning profession.